SEC Form 4 · accession 0001723420-18-000003
Adhera Therapeutics, Inc. · ATRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Moscato Jr.
Officer — Chief Executive Officer · Director
Period of report
Jul 10, 2018
Accepted (ET)
Jul 11, 2018 · 4:48 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000737207
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options to purchase common stockF1 | $0.66 | Jul 10, 2018 | A | 1,500,000 | A | — | Jul 10, 2028 | common stock | 1,500,000 | 1,500,000 | D |
Explanation of responses
- F1Options to purchase 250,000 shares of common stock are exercisable immediately, options to purchase 250,000 shares of common stock are exercisable on each of July 10, 2019, July 10, 2020 and July 10, 2021, options to purchase 250,000 shares of common stock shall vest on such date (if any) that the Issuer determines that the reporting person has earned the "2018 Revenue Bonus" (as defined in the Employment Agreement dated June 18, 2018 between the Issuer and the reporting person (the "Employment Agreement")), and options to purchase 250,000 shares of common stock shall vest on such date (if any) that the Issuer determines that the reporting person has earned the "2018 Stock Price Bonus" (as defined in the Employment Agreement).